What is an Exempt Direct Public Offering? Rule 506(c) Offering Attorneys
An exempt Direct Public Offering can involve a private placement under Rules 506(c) or 504 of Regulation D. The most commonly used…
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SEC Form D Requirements, Regulation D, Notice of Sales
To file a Form D, the Company must obtain Edgar filer codes. Edgar filer codes are obtained by filing a Form ID…
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What is an Accredited Investor? Securities Lawyer 101
Dodd-Frank amended the definition of an “accredited” investor to exclude the value of an investor’s primary residence when determining whether the net…
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S-1 Registration Requirements, Filing Form S-1, S-1 Offering, S-1 Lawyers
S-1 Filing Requirements, Filing Form S-1, S-1 Offering, S-1 Lawyers - The process of going public using Form S-1 must be structured…
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Dormant Shell Companies For Reverse Mergers Suspended by the SEC While Delinquent Filers Run Wild
Its object is to render useless and worthless dormant shell companies that might otherwise be hijacked, used in reverse mergers, and ultimately…
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Going Public – Regulation A+ – IPO Alternative
Regulation A contains two exemptions with unique requirements and benefits. Regulation A Tier 1 and Tier 2 allow the issuer to raise…
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Will Form 12b-25 Extend 10-Q’s Due Date? l Securities Lawyer 101
Form 12b-25 provides the issuer with a 5 day extension within which to file the Form 10-Q or 15 days for a…
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What is a Penny Stock? Securities Lawyer 101
The term "penny stock" refers to a security issued by a company whose shares that trades at less than $5 per share…
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What Is DTC Eligibility? Going Public Attorneys
DTC’s eligibility creates liquidity for companies after a going public transaction. DTC’s Issue Eligibility program allows newly issued securities as well as…
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Regulation A Form 1-A Offering Circular Disclosures – Going Public Lawyers
Regulation A Form 1-A Offering Statements require line item disclosure of information about the issuer and the offering. Form 1-A is subject…
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